Duane Mattson Email & Phone Number
Compliance Lead @ FocusPoint Private Capital Group
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Duane Mattson Location
- Austin, TX, US
Duane Mattson Work
- 2022 -now Compliance Lead @
- 2021 -2022 VP Compliance and Supervision @
- 2018 -2020 VP, Senior Compliance Officer @
- 2015 -2018 Vice President @
- 2012 -2015 Senior Compliance Officer @
- 2010 -2012 Chief Compliance Officer @ Al Frank Asset Management | Innealta Capital
- 2008 -2010 Chief Compliance Officer @ Austin Capital Management
- 2006 -2008 Chief Supervisory Officer @ NFP Securities
- 2005 -2006 Manager, Sales Supervision @ NFP Securities
- 2004 -2005 Sales Supervisor @ NFP Securities
- 2004 -2004 Personal Financial Advisor @
- 2003 -2004 Sales Supervisor @ NFP Securities
- 1998 -2003 Compliance Specialist @
Duane Mattson Education
- University of Minnesota
BA (Journalism)
1983-1987 - Warren High School
Duane Mattson Skills
- Portfolio Management
- KYC
- Investments
- Leadership
- Civilcad
- Regulatory Compliance
- Emergency Services
- Operational Risk Management
- MiFID
- Trade Marketing
- Investment Advisor Compliance
- Medical Compliance
- Visual Merchandising
Duane Mattson Summary
- Duane Mattson, based in Austin, TX, US, is currently a Compliance Lead at Capital Group. Duane Mattson brings experience from previous roles at Lion Street, PIMCO and Dimensional Fund Advisors. Duane Mattson holds a 1983 - 1987 BA in Journalism @ University of Minnesota. With a robust skill set that includes Portfolio Management, KYC, Investments, Leadership, Civilcad and more. Duane Mattson has 2 emails and 1 mobile phone numbers on RocketReach.
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